Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support a Risk Monitoring Director in identifying existing and emerging risks and interact with internal and...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is tasked with supporting the External Strategic Engagements leadership team in all aspects of their responsibilities. This includes representing the team when appropriate and leading the development of...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to Enforcement's investigations and making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role within the StratIntel unit of the organization’s Member Supervision department. This role is centered on delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title: Principal Analyst, Risk Monitoring** **Job Responsibilities:** - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Serve as a senior-level position reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and manage interactions with internal and external parties. - Conduct...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel mission within the organization's Member Supervision department. This role is instrumental in delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...